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Escalated Enforcement Actions Issued to Reactor Licensees - D

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D.C. Cook 1 & 2
Davis-Besse
Diablo Canyon 1 & 2
Dresden 2 & 3
Duane Arnold

D.C. Cook 1 & 2 - Docket Nos. 050-00315; 050-00316

NRC Action Number(s) and Facility Name	Action Type (Severity) & Civil Penalty (if any)	Date Issued	Description
EA-06-295 D.C. Cook	ORDER	04/04/2007	On April 4, 2007, a Confirmatory Order (Effective Immediately) was issued to the Indiana Michigan Power Company (I&M) as part of a settlement agreement between I&M and the NRC regarding an apparent violation of 10 CFR 50.7, "Employee Protection," issued by the NRC to I&M. In response to an NRC choice letter, I&M requested Alternative Dispute Resolution (ADR) to resolve the apparent violation. As part of the settlement agreement that resulted from the ADR session, I&M agreed to complete a number of actions, including the completion of the training of all non-supervisory plant workforce and long-tern contractors on the subject of a safety-conscious work environment (SCWE), the completion of a Nuclear Safety Culture (including SCWE) survey, the reinforcement of I&M’s policy and expectation of its management relating to a SCWE as communicated by an executive level manager, and the implementation of a periodic assessment of I&M’s compliance with its hours of work limitation program and evaluation of the results for trends. In exchange for I&M’s actions, the NRC agreed to not pursue further enforcement action; however, the NRC will evaluate the implementation of the Confirmatory Order during future inspections.
EA-06-177 D.C. Cook, Units 1, 2	NOVCP (SL III) $ 60,000	10/06/2006	On October 6, 2006, a Severity Level III Notice of Violation and Proposed Civil Penalty in the amount of $60,000 was issued to the Indiana Michigan Power Company (I&M). The violation resulted from changes the licensee made to its D. C. Cook Emergency Plan in April 2003. In accordance with 10 CFR 50.54(q), a licensee may make changes to emergency plans without Commission approval only if the changes do not decrease the effectiveness of the plans and the plans, as changed, continue to meet the standards of 10 CFR 50.47(b). In April 2003, I&M made changes, without Commission approval, to the Fission Product Barrier Matrix Emergency Action Level (EAL) in the D. C. Cook Emergency Plan that decreased the effectiveness of the plan and resulted in use of a non-standard scheme of EALs.
EA-05-171 D.C. Cook, Units 1, 2	NOVCP (SL III) $ 60,000	11/23/2005	On November 23, 2005, a Notice of Violation and Proposed Imposition of a Civil Penalty in the amount of $60,000, was issued for a Severity Level III problem involving the licensee’s failure to provide complete and accurate information, and meet reporting requirements regarding NRC-licensed operators at the D. C. Cook Nuclear Plant. Specifically, the licensee failed to: (1) provide complete and accurate information to the NRC concerning corrective actions associated with a previous Severity Level III violation (EA-04-109); (2) notify the NRC within 30 days of NRC-licensed operators experiencing a permanent disability or illness; and (3) provide complete and accurate information concerning the medical condition of individuals on new or renewal NRC reactor operator license applications.
EA-04-109 D.C. Cook, Units 1, 2	NOV (SL III)	09/29/2004	On September 29, 2004, a Notice of Violation was issued for a Severity Level III violation involving an application for renewal of a Senior Reactor Operator license that was not complete and accurate in all material respects.
EA-04-006 D.C. Cook, Units 1, 2	NOV (White)	03/12/2004	On March 12, 2004, a Notice of Violation was issued for a violation associated with a White SDP finding involving the failure to properly prepare a package of radioactive material for shipment. The violation cited the licensee’s failure to prepare the radioactive material package for shipment so that the radiation level did not exceed 200 millirem per hour at any point on the external surface of the package.
EA-01-286 D.C. Cook, Units 1, 2	NOV (White)	10/03/2002	On October 3, 2002, a Notice of Violation was issued for a violation associated with a White SDP finding involving a failed essential service water (ESW) strainer basket that resulted in a debris intrusion event. The violation cited that the installation instructions for the ESW strainer baskets, an activity affecting quality, were not appropriate.
EA-02-010 D.C. Cook, Unit 2	NOV (White)	05/06/2002	On May 6, 2003, a Notice of Violation was issued for a violation associated with a White SDP finding involving the failure to take corrective action to preclude a repetitive failure of the Unit 2 Turbine Driven Auxiliary Feedwater Pump, a significant condition adverse to quality.
EA-99-329 D.C. Cook 1 & 2	NOV (SL III)	05/05/2000	On May 5, 2000, a Notice of Violation was issued for a Severity Level III violation based on discrimination against an employee for engaging in protected activities.
EA-98-113 D.C. Cook 1 & 2	NOV (SL III)	04/21/1998	Transportation violations; no shipping papers or emergency contact number.
EA-96-020 D.C. Cook 1 & 2	NOV (SL III)	03/11/1996	Both centrifugal charging pumps were rendered inoperable and action was not taken within the technical specification requirements.
EA-93-059 D.C. Cook 1 & 2	NOVCP (SL III) $ 25,000	08/05/1993	Withdrawal of Notice of Violation and proposed imposition of Civil Penalty on an action based on discrimination against a technician for engaging in protected activity.

Davis-Besse - Docket No. 050-00346

NRC Action Number(s) and Facility Name	Action Type (Severity) & Civil Penalty (if any)	Date Issued	Description
EA-07-199 Davis Besse	ORDER	08/15/2007	On August 15, 2007, a Confirmatory Order (Effective Immediately) was issued to FirstEnergy Nuclear Operating Company (FENOC) to formalize commitments made by FENOC following the NRC staff’s issuance of a Demand for Information (DFI) on May 14, 2007. The DFI was issued in response to the information provided by FENOC relative to its re-analysis of the time line and root causes for the 2002 Davis-Besse reactor pressure vessel head degradation event following its receipt of a report prepared by Exponent Failure Analysis Associates and Altran Solutions Corporation (Exponent). On June 13, 2007, FENOC provided its response to the DFI. On July 16, 2007, FENOC provided a supplemental response to the DFI which provided additional detail regarding the planned implementation of commitments established in its June 13, 2007, response to the DFI.
EA-07-123 Davis Besse	DFI	05/14/2007	On May 14, 2007, a Demand for Information (DFI) was issued to FirstEnergy Nuclear Operating Company (FENOC) in response to information provided by FENOC in a report, dated December 15, 2006, prepared by its contractor, Exponent Failure Analysis Associates and Altran Solutions Corporation (Exponent), associated with the root causes and time line for the 2002 Davis Besse reactor pressure vessel head degradation event. In particular, the DFI required FENOC to provide detailed and specific information relative to the timing of FENOC’s review of the Exponent Report and the factors FENOC considered when determining whether the conclusions in the report should be communicated to the NRC. The DFI also required FENOC to provide information in order for the NRC to understand the depth and completeness of FENOC’s evaluation of the assumptions, methods, and conclusions of the Exponent Report and to understand the differences between the Exponent Report and the technical and programmatic root cause reports previously developed by FENOC relative to the 2002 Davis-Besse event. In addition, the DFI required information in order for the NRC to understand FENOC’s position regarding a second contractor report prepared for FENOC entitled, "Report of Reactor Pressure Vessel Wastage at the Davis-Besse Nuclear Power Plant," dated December 2006. Regarding the second report, the DFI required specific information relative to FENOC’s endorsement of the report’s conclusions and the implications of any new positions taken by FENOC compared to those previously communicated to the NRC in response to the Notice of Violation and Proposed Imposition of Civil Penalties, dated April 21, 2005. After reviewing FENOC’s response to the DFI the NRC will determine whether further action is necessary to ensure compliance with regulatory requirements.
EA-04-224 Davis Besse	ORDER	07/15/2005	On July 15, 2005, an immediately effective Confirmatory Order was issued to establish certain requirements as set forth in the Order including training related to employee protection for contractor personnel who are granted unescorted access at Davis-Besse and the other FENOC nuclear facilities. The Order was discussed during Alternative Dispute Resolution and, subject to satisfactory implementation of said requirements, the NRC will not pursue further enforcement action on this issue.
EA-04-231 Davis Besse	NOV (White)	05/05/2005	On May 5, 2005, a Notice of Violation was issued for a violation associated with a White SDP finding involving the failure of the emergency planning zone (EPZ) sirens. The violation cited the licensee’s failure to implement the means to provide early notification and clear instruction to the populace within the plume exposure pathway EPZ.
EA-05-071 EA-05-068 EA-05-066 EA-05-067 EA-05-072 EA-03-025 EA-05-069 EA-05-070 Davis-Besse	NOVCP (SL I, Red) $5,450,000	04/21/2005	On April 21, 2005, a Notice of Violation and Proposed Imposition of Civil Penalties in the amount of $5,450,000 was issued for multiple violations (some willful) related to the significant degradation of the reactor pressure vessel head identified in February and March 2002. The significant violations included, (1) operation with reactor coolant system pressure boundary leakage (associated with a Red SDP finding, $5,000,000), (2) failure to provide complete and accurate information (Severity Level I, $110,000), (3) failure to promptly identify and correct a significant condition adverse to quality (Severity Level II, $110,000), (4) failure to implement procedures (Severity Level II, $110,000), (5) failure to provide complete and accurate information (Severity Level I, $120,000), (6) failure to promptly identify and correct a significant condition adverse to quality (associated with a Red SDP finding), (7) failure to implement procedures (associated with a Red SDP finding), and (8) failure to provide complete and accurate information (Severity Level III).
EA-03-209 Davis-Besse	NOV (SL III)	05/07/2004	On May 7, 2004, a Notice of Violation was issued for a Severity Level III violation involving the failure to provide the NRC with complete and accurate information in the licensee’s response to NRC Generic Letter (GL) 98-04 regarding protective coating deficiencies and foreign material in containment.
EA-03-214 Davis-Besse	ORDER	03/08/004	On March 8, 2004, an immediately effective Confirmatory Order was issued to confirm certain commitments, as set forth in the Order, that requires annual independent assessments for five years, in the areas of operations, engineering, corrective actions and safety culture and requires inspection of key reactor coolant system pressure boundary components during a mid-cycle outage to ensure effective assessment and sustained safe performance. The Order was issued in conjunction with the NRC’s decision to approve the restart of the facility.
EA-03-172 Davis-Besse	NOV (White)	03/05/2004	On March 5, 2004, a Notice of Violation was issued for a violation associated with a White SDP finding involving the potential inability of the high pressure injection (HPI) pumps to perform their safety function under certain accident scenarios due to potential pump degradation. The violation cited the licensee’s failure to adequately implement design control measures for verifying the adequacy of the design of the HPI pumps to mitigate all postulated accidents.
EA-03-131 Davis-Besse	NOV (Yellow)	10/07/2003	On October 7, 2003, a Notice of Violation was issued for a violation associated with a Yellow SDP finding involving the inability of the emergency core cooling system sump to perform its safety function under certain accident scenarios due to potential clogging of the sump screen. The violation cited the licensee’s failure to promptly identify and correct significant conditions adverse to quality involving the potential to clog the emergency core cooling and containment spray system sump with debris following a loss of coolant accident (LOCA).
EA-02-117 EA-02-257 Davis-Besse	NOV (White)	02/19/2003	On February 19, 2003, a Notice of Violation was issued for violations associated with two White SDP findings associated with the radiological controls related to steam generator nozzle dam installation conducted on February 20, 2002. The violations cited the failure of the licensee to conduct an adequate evaluation of the radiological hazards in order to characterize the radiological work conditions and to take timely and suitable measurements to adequately monitor the occupational intake of the material by workers during and following steam generator nozzle dam installation.
EA-99-138 Davis-Besse	NOV (SL III)	08/06/1999	Violations involving failure to maintain the design of a pressurizer spray valve and inadequate corrective action for the degraded condition.
EA-96-304 Davis-Besse	NOVCP (SL III) $ 50,000	10/22/1996	Failure to take actions to address hot shorts in circuits controlling as many as 41 MOV's and to take corrective action to address the use of combustibles for radiant energy shields.
EA-96-122 Davis-Besse	NOV (SL III)	06/13/1996	Missing HPI system high point.

Diablo Canyon 1 & 2 - Docket Nos. 050-00275; 050-00323

NRC Action Number(s) and Facility Name	Action Type (Severity) & Civil Penalty (if any)	Date Issued	Description
EA-96-123 Diablo Canyon 1 & 2	NOV (SL III)	06/07/1996	Licensee granted unescorted access when there was derogatory information and a request to hold from contractor.

Dresden 2 & 3 - Docket Nos. 050-00237; 050-00249

NRC Action Number(s) and Facility Name	Action Type (Severity) & Civil Penalty (if any)	Date Issued	Description
EA-07-200 Dresden 1, 2 & 3	NOVCP SL III $65,000	11/27/2007	On November 27, 2007, a Notice of Violation and Exercise of Discretion for Proposed Imposition of Civil Penalty in the amount of $65,000 was issued for a Severity Level III problem consisting of four violations involving the licensee’s failure to comply with 10 CFR 74.19 between 1959 and 2007. In summary, the licensee failed to (a) keep complete records showing the inventory (including location and unique identity), transfer, and disposal of all special nuclear material (SNM) in its possession; (b) establish, maintain, and follow written MC&A procedures that were sufficient to enable the licensee to account for SNM in its possession; and (c) conduct a physical inventory of all SNM in its possession at intervals not to exceed 12 months. This resulted in the failure to account for two fuel pellets and a number of incore detectors containing SNM.
EA-03-102 Dresden 2 & 3	NOV SL III	08/29/2003	On a August 29, 2003, Notice of Violation was issued for a violation involving the failure by Exelon to provide complete and accurate information to the NRC regarding a request to renew a reactor operator license.
EA-02-265 Dresden 3	NOVCP SL III $60,000	06/23/2003	On a June 23, 2003, a Notice of Violation and Proposed Imposition of Civil Penalty in the amount of $60,000 was issued for the willful failure to provide complete and accurate information to the NRC Region III staff concerning the high pressure coolant injection (HPCI) system during a telephone conference call on September 27, 2001. A Notice of Violation was also issued for a violation associated with a White SDP finding.
EA-02-264 Dresden 3	NOV (White)	06/23/2003	On a June 23, 2003, Notice of Violation was issued for a violation associated with a White SDP finding involving the operability of the high pressure coolant injection (HPCI) system. The violation cited the licensee's failure to promptly correct a damaged HPCI system support resulting in the equipment being inoperable for greater than the allowed outage time. A Notice of Violation and Proposed Imposition of Civil Penalty in the amount of $60,000 was also issued in conjunction with this case.
EA-99-313 Dresden 2 & 3	NOV (SL III)	09/06/2000	On September 6, 2000, a Notice of Violation was issued for a Severity Level III violation based on discrimination against a radiation protection technician for engaging in protected activities.
EA-96-532 Dresden 2 & 3	NOV (SL III)	05/21/1997	Failure to adequately test control room emergency ventilation system.
EA-96-493 Dresden 2 & 3	NOV (SL III)	09/18/1998	Problems are rooted in practices associated with the control of examination materials and the lack of personal integrity of the individuals involved.
EA-96-391 Dresden 2 & 3	NOV (SL III)	05/30/1997	U-3 main steam line drain valve LLRT failures. Primary containment inoperable.
EA-96-115 Dresden 2 & 3	NOVCP (SL III) $ 50,000	06/13/1996	Corner rooms structural steel in a condition outside FSAR caused by failure to account for modifications and errors in original design calculations.

Duane Arnold - Docket No. 050-00331

NRC Action Number(s) and Facility Name	Action Type (Severity) & Civil Penalty (if any)	Date Issued	Description
EA-07-017 Duane Arnold	NOV (SL III)	April 2, 2007	On April 2, 2007, a Notice of Violation was issued for a violation associated with a White Significance Determination Finding involving the failure of the licensee’s 2006 full-scale exercise critique to identify a weakness associated with a Risk Significant Planning Standard which was also a Drill and Exercise Participation Performance Indicator. The NRC has determined that this failure is a performance deficiency and is also a violation of emergency preparedness planning standard 10 CFR 50.47(b)(14) and associated risk significant planning standard 10 CFR 50.54(b)(4).
EA-06-047 Duane Arnold	NOV (SL III)	05/01/2006	On May 1, 2006, a Notice of Violation was issued for a Severity Level III violation involving failure to complete a pre-fuel-move checklist prior to relocating three irradiated fuel bundles in the spent fuel/cask pool Duane Arnold spent fuel/cask pool. Specifically, a designated fuel handling supervisor failed to complete the checklist, as required by a Duane Arnold fuel handling procedure, before moving the irradiated fuel bundles.
EA-04-053 Duane Arnold	NOV (SL III)	05/01/2006	On May 1, 2006, a Notice of Violation and Exercise of Enforcement Discretion was issued for a Severity Level III violation involving a Refueling Floor Supervisor who deliberately directed an operator to relocate irradiated items in the cask pool without notifying health physics or ensuring that health physics personnel were present prior to relocating the irradiated items on July 23, 2003. Enforcement discretion in accordance with Section VII.B.6 of the Enforcement Policy was exercised to refrain from issuing a civil penalty for the violation because it involved special circumstances.